NARA Bulletin 2006-02

December 15, 2005

ATTENTION! This page has been superseded. The information listed 

below is no longer accurate. For NARA's current guidance please visit 

 http://www.archives.gov/records-mgmt/bulletins/2010/2010-02.html. 

Please note that this page is available only as a technical and historical 

reference. 

July 31, 2008

TO: Heads of Federal agencies

SUBJECT: NARA Guidance for Implementing Section 207(e) of the 

E-Government Act of 2002

EXPIRATION DATE: October 1, 2009

1. What is the purpose of this bulletin? This bulletin provides Federal 

agencies with the National Archives and Records Administration's (NARA) 

approach to improve the management of electronic records, including web 

records, as directed by Section 207(e) of the E-Government Act of 2002, [44 

U.S.C. 3601]. All electronic records created and received by agencies are 

subject to the same existing statutory and regulatory records management 

requirements as records in other formats and on other media.

2. What is the background for this bulletin? 

 a. Section 207(e) directs the Archivist of the United States to issue 

policies:

 (A) requiring the adoption by agencies of policies and procedures to 

ensure that chapters 21, 25, 27, 29, and 31 of title 44, United States Code, 

are applied effectively and comprehensively to Government information on 

the Internet and to other electronic records; and

 (B) imposing timetables for the implementation of the policies, 

procedures, and technologies by agencies.

 b. Federal agencies are already required by 44 U.S.C. ch. 31 and 35, 

Office of Management and Budget (OMB) Circular A-130, and NARA 

regulations in 36 CFR ch. XII, subchapter B to have effective and 

comprehensive records management programs for all of their records. 

Policies issued by NARA under these authorities apply to all electronic 

records, including web records.

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3. What definitions are used in this bulletin?

Electronic information system means a system that contains and provides 

access to computerized Federal records and other information (36 CFR 

1234.2). The term is not limited to systems that consist solely of or are 

integrated with DoD5015.2-STD-certified software.

General Records Schedules are disposal authorizations issued by the 

Archivist of the United States for temporary records common to several or all 

agencies across the Federal Government.

Mixed-life-cycle stage, as defined in OMB Circular A-11, par. 300.4, means 

an information system (investment) that has both 

development/modernization/enhancement (DME) and steady state aspects. 

Permanent records means any Federal record that has been determined by 

NARA to have sufficient value to warrant its preservation in the National 

Archives of the United States. Permanent records include all records 

accessioned by NARA into the National Archives of the United States and 

later increments of the same records, and those for which the disposition is 

permanent on SF 115s, Request for Records Disposition Authority, approved 

by NARA on or after May 14, 1973. (36 CFR 1220.14)

Schedule means

 (a) An SF 115, Request for Records Disposition Authority, that has been 

approved by NARA to authorize the disposition of Federal records;

 (b) A General Records Schedule (GRS) issued by NARA; or

 (c) A printed agency manual or directive containing the records 

descriptions and disposition instructions approved by NARA on one or more 

SF 115s or issued by NARA in the GRS. (36 CFR 1220.14)

Scheduling means the process by which an agency obtains NARA approval 

for the disposition of agency records when agency business need for the 

records ceases, i.e., destruction of temporary records and transfer to the 

National Archives of the United States of permanent records. 36 CFR 1228, 

Subpart B prescribes regulations for scheduling records.

Steady-state (operational) information system as defined in OMB Circular 

A-11, par. 300.4, means an asset or part of an asset that has been delivered 

and is performing the mission.

Temporary record means any record which has been determined by the 

Archivist of the United States to have insufficient value (on the basis of 

current standards) to warrant its preservation by the National Archives and 

Records Administration. This determination may take the form of:

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 (a) A series of records designated as disposable in an agency records 

disposition schedule approved by NARA (Standard Form 115, Request for 

Records Disposition Authority); or

 (b) A series of records designated as disposable in a General Records 

Schedule. (36 CFR 1220.14)

4. What policies is NARA issuing?

 a. NARA issues regulations governing the management of all records, 

including electronic records in 36 CFR Ch. XII, Subchapter B. NARA also 

issues policy guidance that supplements these regulations. The regulations 

and guidance are posted on NARA's web site at 

http://www.archives.gov/records-mgmt/ or are available from the NARA staff 

identified in par. 6 of this bulletin.

 b. This bulletin outlines the major pieces of existing NARA policy guidance 

related to electronic records management and the areas in which future 

policy will be made. The bulletin also establishes timelines by which Federal 

agencies and NARA must take action regarding records management of 

both temporary and permanent electronic records.

5. What must agencies do to implement this bulletin?

 a. Ongoing responsibilities. Agencies must continue to manage their 

records, including electronic records, consistent with 44 U.S.C. ch. 31, 44 

U.S.C. 3506, 36 CFR Ch. XII, Subchapter B, Records Management, and 

OMB Circular A-130, par. 8a1(j) and (k) and 8a4. In addition, this bulletin 

highlights agency responsibilities under these regulations, to identify and 

schedule ALL their electronic records, and to transfer to NARA electronic 

records that have a permanent retention. For agencies that are not already 

compliant with these policies, NARA is also formally establishing 

Government-wide deadlines for such compliance, as required by section 207

(e)(2)(B) of the E-Government Act of 2002. The chart in Attachment 1 of this 

NARA bulletin summarizes those deadlines. Major areas of existing NARA 

guidance and plans for future guidance are described in Attachment 2 of this 

bulletin. Agencies are reminded of the potential applicability of the General 

Records Schedules as an authority to dispose of administrative electronic 

records systems.

 b. Existing electronic records. By September 30, 2009, agencies must 

have NARA-approved records schedules for all records in existing electronic 

information systems. For this bulletin, "existing electronic information 

systems" are those that are in steady-state operation or mixed life-cycle 

stage as of December 17, 2005, and electronic records in legacy systems 

that were not scheduled before decommissioning of the system. OMB 

Circular A-11 defines both steady state (operational) and mixed life-cycle 

stage.

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 (1) This requirement includes any system containing electronic 

information that meets the definition of a Federal record (see 36 CFR 

§1222.12 for detailed definitions). Agencies may continue to submit 

schedules covering series of electronic records, or may submit schedules 

covering specific systems. Agencies may also consider the approach in 

NARA Bulletin 2005-05, Guidance for flexible scheduling 

(http://www.archives.gov/records-mgmt/bulletins/2005/2005-05.html).

 (2) Because there may be a backlog of unscheduled systems existing 

within an agency, NARA suggests agencies consider using the resource 

allocation framework (http://www.archives.gov/recordsmgmt/initiatives/resource-allocation.html) to prioritize the application of 

agency scheduling resources, focusing first on electronic records systems 

the agency believes contain records warranting permanent preservation.

 c. New electronic records systems.

 (1) Agencies are reminded that OMB Circular A-130, par. 8a(1)(k) 

requires agencies to incorporate records management and archival functions 

into the design, development, and implementation of information systems. 

Agencies are also reminded that 36 CFR 1234.10 requires them to establish 

procedures for addressing records management requirements, including 

recordkeeping requirements and disposition, before approving new 

electronic information systems or enhancements to existing systems.

(2) For electronic information systems that are currently in a system life cycle 

stage earlier than steady-state or are developed after issuance of this 

bulletin, agencies will work with NARA to schedule these systems in 

accordance with the "front-end scheduling" tactic included in NARA's 

Strategic Directions for Federal Records Management 

(http://www.archives.gov/records-mgmt/initiatives/strategicdirections.html#tactics). NARA will be issuing additional guidance to assist 

agencies with this requirement.

6. Whom do I contact for additional information?

 a. NARA's Life Cycle Management Division provides assistance and 

advice to agency records officers of agencies headquartered in the 

Washington, DC, area and the Records Management staff in NARA's 

regional offices provides assistance and advice to agency records officers of 

agencies headquartered in the field.. Your agency's records officer may 

contact the NARA appraiser or records analyst with whom your agency 

normally works for support in carrying out this bulletin. A list of the appraisal 

and scheduling work group and regional contacts is posted on the NARA 

web site at http://www.archives.gov/records-mgmt/appraisal/. 

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.

 b. The Records Management staff in NARA's regional offices provides 

assistance to agency records officers across the country. A complete list of 

NARA regional facilities may be found at 

http://www.archives.gov/locations/index.html.

 c. If you need more general information about the contents of this bulletin, 

please contact Laurence Brewer, director of the Life Cycle Management 

Division at Laurence.Brewer@nara.gov or on 301-837-1539.

ALLEN WEINSTEIN

Archivist of the United States

NARA Bulletin 2006-02 - Attachment 1

NARA Bulletin 2006-02 - Attachment 2

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